Proposal for a COUNCIL DECISION on the extension of the Agreement for scientific and technological cooperation between the European Union and the Government of the United States of America
Date: 2018-03-21
Institutions: Directorate-General for Research and Innovation, European Commission
Subjects: United States, cooperation agreement (EU), renewal of an agreement, scientific cooperation

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   EUROPEAN COMMISSION  Brussels, 21.3.2018 COM(2018) 141 final 2018/0067 (NLE)  Proposal for a COUNCIL DECISION on the extension of the Agreement for scientific and technological cooperation between the European Union and the Government of the United States of America  
 
 
EXPLANATORY MEMORANDUM 

1. 

• 

CONTEXT OF THE PROPOSAL 

Reasons for and objectives of the proposal 

Since  1998  the  European  Union  (EU)  and  the  United  States  of  America  (US)  have  been 
strategic  partners  for  research.  A  first  bilateral  'Agreement  for  scientific  and  technological 
cooperation between  the  European Community  and  the  Government  of  the  United  States  of 
America'1 ('the Agreement') was signed in Washington, DC, on 5 December 1997 and entered 
into  force  on  14  October 1998. Since then, the Agreement  was extended three  times,  i.e.  in 
20032,  in  20083  and  in  20134  for  an  additional  period  of  5  years  each  time.  The  second 
extension included an amendment, namely the addition of research on security and space to 
the list of sectors for cooperative activities (Article 4).  

Article  12  letter  (b)  of  the  Agreement  stipulates  that:  "This  Agreement  is  concluded  for  an 
initial period of five years. Subject to review by the Parties in the final year of each successive 
period, the Agreement may be extended with possible amendments, thereafter for additional 
periods of five years by mutual written agreement between the Parties".  

The current Agreement is due to expire on 14 October 2018.  

An assessment of how the cooperation with the US is evolving and how it contributes to the 
objectives  of  the  strategy  for  international  cooperation  has  been  carried  out  by  Commission 
service.  This  assessment  clearly  demonstrates  that  the  Agreement  provides  an  important 
framework  for  facilitating  cooperation  between  the  EU  and  the  US  in  common  Science  & 
Technology  (S&T)  priority  areas  leading  to  mutual  benefits.  The  main  instrument  for 
cooperation is the EU Framework Programme for Research and Innovation.  

The EU's relationship  with the US in  Science, Technology and Innovation  (STI) is stronger 
than with any other country outside Europe. Among non-Associated third countries, the US is 
by far the most active country in Horizon 2020 so far. This is true for the amounts of mutual 
research  and  development  (R&D)  investment,  flows  of  scientists,  volumes  of  cooperative 
activities and the number of co-authored publications and patents. These STI links reflect the 
strength  of  our  economic  ties  with  the  US.  If  the  US  and  the  EU  can  find  ways  to 
meaningfully develop joint efforts, the results will lead to economic growth and jobs, a higher 
quality of life and joint solutions for global challenges. 

Among  many  great  achievements,  cooperation  between  the  EU  and  the  US  in  science  and 
technology led to the signature of the Galway Statement in May 2013 and the launch of the 
Atlantic  Ocean  Research  Alliance  (AORA).  Ever  since,  cooperation  in  marine  and  arctic 
research  continues  to  gather  momentum  and  global  international  recognition.  The  various 
AORA working groups have delivered world class results on various cooperation areas, such 
as  seabed  mapping,  observing  systems,  aquaculture,  ocean  literacy,  ocean  health  and 
stressors.  

1 
2 
3 
4 

OJ L 284, 22.10.1998, p.37. 
Council Decision 2004/756/EC (OJ L 335, 11.11.2004, p. 5). 
Council Decision 2009/306/EC (OJ L 90, 02.04.2009, p. 20). 
Council Decision 2014/240/EU (OJ L 128, 30.04.2014, p. 43). 

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It  is  therefore  in  the  EU's  interest  to  extend  the  'Agreement  for  scientific  and  technological 
cooperation between  the  European Community  and  the  Government  of  the  United  States  of 
America' for a new period of five years. 

At the EU-US Joint Consultative Group established by the Agreement, held in Washington on 
23 October 2017, both Parties confirmed their intention to extend the Agreement and agreed 
to continue cooperation, building on the ongoing success of programs alignment. Both Parties 
recognized the role of research and innovation as key drivers of jobs and economic growth, 
and that transatlantic research cooperation has been a primary source of new technologies and 
scientific discoveries for over a century. 

The  substance  of  the  extended  Agreement  should  be  identical  to  that  of  the  current 
Agreement, as discussed and agreed with the US counterparts. 

• 

Consistency with existing policy provisions in the policy area 

This initiative is fully in line with the EU’s international cooperation strategy for research & 
innovation5, whereby the US is a strategic partner of the EU in research and innovation. The 
EU’s  strategy  clearly  states  the importance  of  science  &  technology  agreements  as  vehicles 
for defining and implementing multiannual roadmaps for cooperation with non-EU countries. 
The Agreement is also a means of implementing the EU’s international cooperation strategy 
for  research  and  innovation,  which  calls  for  more  internationalisation  and  openness  in  the 
EU’s research & innovation landscape. 

• 

Consistency with other Union policies 

The  EU’s  global  strategy  for  the  EU’s  foreign  and  security  policy  confirms  that  research 
cooperation is an important aspect of EU foreign policy and sees research cooperation as an 
essential element of stronger socioeconomic ties. 

2. 

• 

LEGAL BASIS, SUBSIDIARITY AND PROPORTIONALITY 

Legal basis 

The EU’s power to act internationally in research and technological development is based on 
Article  186  TFEU.  The  procedural  legal  basis  for  the  proposal  is  point  (a)(v)  of  the  second 
subparagraph of Article 218(6) TFEU. 

• 

Subsidiarity (for non-exclusive competence)  

The EU and its Members States have shared parallel competence in the area of research and 
technological  development  in  accordance  with  Article  4(3)  TFEU.  Therefore  EU's  action 
cannot be replaced by action of Member States. 

3. 

• 

RESULTS 
CONSULTATIONS AND IMPACT ASSESSMENTS 

EX-POST 

EVALUATIONS, 

OF 

STAKEHOLDER 

Regulatory fitness and simplification 

This initiative is not part of the REFIT agenda.  

5 

Enhancing  and  focusing  EU  international  cooperation  in  research  and  innovation:  a  strategic 
approach, COM(2012) 497.  

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4. 

BUDGETARY IMPLICATIONS 

Only  human  and  administrative  resources  are  required;  these  are  set  out  in  the  legislative 
financial statement. 

In the light of the above considerations, the Commission requests that the Council:  

-  approves,  on  behalf  of  the  Union,  and  with  the  consent  of  the  European  Parliament,  the 
extension  of  the  'Agreement  for  scientific  and  technological  cooperation  between  the 
European  Union  and  the  Government  of  the  United  States  of  America',  for  an  additional 
period of five years (i.e., from 14.10.2018 until 13/10/2023) 

- authorises the President of the Council to designate the person(s) empowered to notify the 
Government  of  the  United  States  of  America  that  the  Union  has  completed  the  internal 
renewed  Agreement
into 
procedures  necessary 

the  entry 

force  of 

this 

for 

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2018/0067 (NLE) 

Proposal for a 

COUNCIL DECISION 

on the extension of the Agreement for scientific and technological cooperation between 
the European Union and the Government of the United States of America 

THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  on  the  Functioning  of  the  European  Union,  and  in  particular 
Article 186, in conjunction with point (a)(v) of the second subparagraph of Article 218(6) thereof, 

Having regard to the proposal from the European Commission, 

Having regard to the consent of the European Parliament, 

Whereas: 

(1) 

(2) 

(3) 

(4) 

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By  Decision  98/591/EC6,  the  Council  approved  the  conclusion  of  the  Agreement  for 
scientific  and  technological  cooperation  between  the  European  Community  and  the 
Government of the United States of America (the ‘Agreement’). The Agreement was 
signed in Washington, DC, on 5 December 1997 and entered into force on 14 October 
1998. 

In  accordance  with  Article  12  of  the  Agreement,  the  Agreement  is  concluded  for  an 
initial period of five years. Subject  to review by the Parties in the final year of each 
successive  period,  the  Agreement  may  be  extended,  with  possible  amendments, 
thereafter for additional periods of five years by mutual written agreement between the 
Parties.  
By  Decisions  2004/756/EC7,  2009/306/EC8  and  2014/240/EU9  the  Council  approved 
the extension of the Agreement for an additional period of five years each time. The 
current Agreement is due to expire on 14 October 2018.  

The assessment carried out by Commission service demonstrates that the Agreement 
provides an important framework for facilitating cooperation between the Union and 
the United States of America in common Science & Technology priority areas leading 
to mutual benefits. It is therefore in the Unions interest to extend the Agreement for a 
new period of five years. 

Council  Decision  98/591/EC  of  13  October  1998  concerning  the  conclusion  of  the  Agreement  for 
scientific and technological cooperation between the European Community and the Government of the 
United States of America (OJ L 284/35, 22.10.1998, p. 37). 
Council  Decision  2004/756/EC  of  4  October  2004  concerning  the  conclusion  of  an  Agreement 
renewing the Agreement for scientific and technological cooperation between the European Community 
and the Government of the United States of America(OJ L 335, 11.11.2004, p. 5). 
Council  Decision  2009/306/EC  of  30  March  2009  concerning  the  extension  and  amendment  of  the 
Agreement  for  scientific  and  technological  cooperation  between  the  European  Community  and  the 
Government of the United States of America (OJ L 90, 02.04.2009, p. 20). 
Council  Decision  2014/240/EU  of  14  April  2014  concerning  the  extension  of  the  Agreement  for 
scientific and technological cooperation between the European Community and the Government of the 
United States of America (OJ L 128, 30.04.2014, p. 43). 

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(5) 

Both  Parties  confirmed  their  intention  to  extend  the  Agreement  for  an  additional 
period of five years without any amendments to the Agreement. 

(6) 

The extension of the Agreement should be approved on behalf of the European Union,  

HAS ADOPTED THIS DECISION:  

The  extension  of  the  Agreement  for  scientific  and  technological  cooperation  between  the 
European Union and the Government of the United States of America, for an additional period of 
five years, is hereby approved on behalf of the Union. 

Article 1 

Article 2 

The President of the Council shall designate the person(s) empowered to notify the Government 
of the United States of America, on behalf of the Union, that the Union has completed its internal 
procedures  necessary  for  the  extension  of  the  Agreement  in  accordance  with  Article  12  of  the 
Agreement.   

This Decision shall enter into force on the date of its adoption. 

Article 3 

Done at Brussels, 

For the Council 
The President 

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LEGISLATIVE FINANCIAL STATEMENT 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1.  Title of the proposal/initiative  

1.2.  Policy area(s) concerned in the ABM/ABB structure 

1.3.  Nature of the proposal/initiative  

1.4.  Objective(s)  

1.5.  Grounds for the proposal/initiative  

1.6.  Duration and financial impact  

1.7.  Management mode(s) planned  

2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

2.2.  Management and control system  

2.3.  Measures to prevent fraud and irregularities  

3. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

3.1.  Heading(s)  of  the  multiannual  financial  framework  and  expenditure  budget 
line(s) affected  

3.2.  Estimated impact on expenditure  

3.2.1. Summary of estimated impact on expenditure  

3.2.2. Estimated impact on operational appropriations  

3.2.3. Estimated impact on appropriations of an administrative nature 

3.2.4. Compatibility with the current multiannual financial framework 

3.2.5. Third-party contributions  

3.3.  Estimated impact on revenue

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LEGISLATIVE FINANCIAL STATEMENT 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1. 

Title of the proposal/initiative  

Proposal for a Council Decision on the extension of the Agreement for scientific and 
technological cooperation between the European Community and the Government of 
the United States of America 
Policy area(s) concerned in the ABM/ABB structure10  

1.2. 

Policy strategy and coordination of, in particular, the Directorates-General RTD, AGRI, 
CLIMA, JRC, EAC, ENER, GROW, CNECT, MARE and MOVE. 

1.3. 

Nature of the proposal/initiative 

 The proposal/initiative relates to a new action  

  The  proposal/initiative 
project/preparatory action   

relates 

to  a  new  action 

following  a  pilot 

 The proposal/initiative relates to the extension of an existing action  

The proposal/initiative relates to an action redirected towards a new action 

1.4. 

Objective(s) 

1.4.1.  The  Commission's  multiannual 

strategic  objective(s) 

targeted  by 

the 

proposal/initiative  

The present initiative will allow both Parties to improve and intensify their cooperation 
in scientific and technological areas of common interest. 

1.4.2. 

Specific objective(s) and ABM/ABB activity(ies) concerned  

Specific objective No 

This decision will allow both Parties to enhance the cooperation and develop a more 
strategic  partnership  by  increasing  the  scale  and  scope  of  existing  cooperation, 
addressing  global  challenges  by  promoting  reciprocal  access  to  programmes  and 
funding.  

ABM/ABB activity(ies) concerned 

10 

ABM: activity-based management; ABB: activity-based budgeting. 

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1.4.3.  Expected result(s) and impact 

Specify the effects which the proposal/initiative should have on the beneficiaries/groups targeted. 

This decision will allow both the Union and the US to derive mutual benefit from the 
scientific and technical progress achieved through ongoing cooperation activities. It 
will  allow  for  exchange  of  specific  knowledge  and  transfer  of  know-how  to  the 
benefit of the scientific community, industry and citizens of both Parties. 

1.4.4. 

Indicators of results and impact  

Specify the indicators for monitoring implementation of the proposal/initiative. 

The Commission will regularly monitor all actions carried out under the Agreement, 
including  cooperation  activities.  This  evaluation  will  cover,  among  others,  the 
following points: 

(a) cooperation indicators — analysis of the number and type of participation of US 
entities in EU funded programmes (e.g. number of proposals, number of signed grant 
agreements,  main  collaboration  links,  main  thematic;  generated  output)  and  vice-
versa (whenever the data is available); 

(b)  performance  indicators  —  success  rate  of  US  entities  participating  in  the  EU 
framework  programmes  compared  to  other  non-EU  countries  and  to  Member 
States/Associated  countries  to  a  Research  Framework  Programme;  analysis  of  the 
quality of the participation (e.g. number of best ranked universities taking part on the 
programme, number of patents and publications coming from collaborative projects); 

(c)  data  collection  regarding  cooperation  activities  and  links  that  go  beyond  the 
respective research funding programmes as well as assessment of the impact of these 
activities, like participation in multilateral initiatives and working groups. 

1.5. 

Grounds for the proposal/initiative  

1.5.1.  Requirement(s) to be met in the short or long term  

This  decision  will  allow  the  two  Parties  to  continue  to  improve  and  intensify  their 
cooperation in scientific and technological areas for mutual benefit. 

1.5.2.  Added value of EU involvement 

Cooperation  in  research  &  innovation  between  the  US  and  the  EU  has  been 
intensifying  steadily  in  the  past  years.  The  involvement  of  the  EU  allows  for 
activities  with  larger  scale  and  scope  for  the  benefit  of  all  Member  States.  The 
extension  of  this  Agreement  will  allow  the  EU  to  have  easier  access  to  scientific 
knowledge produced in the US and to engage in more cooperation activities leading 
to additional exchange of knowledge and technologies.  

1.5.3.  Lessons learned from similar experiences in the past 

Based  on  the  experience  so  far  in  scientific  and  technological  cooperation,  it  is 
considered  mutually  beneficial  to  continue  research  cooperation  with  US,  as  a 
strategic partner of the EU in research and innovation. 

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1.5.4.  Compatibility and possible synergy with other appropriate instruments 

The extension of the Agreement with the US is considered to be fully consistent with 
the overall policy framework on international cooperation in research and innovation 
(COM(2012)497).  

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1.6. 

Duration and financial impact  

 Proposal/initiative of limited duration  

–    Proposal/initiative in effect from 14/10/2018 to 13/10/2023 

–    Financial impact from 14/10/2018 to 13/10/2023 

 Proposal/initiative of unlimited duration 

–  Implementation with a start-up period from YYYY to YYYY, 

–  followed by full-scale operation. 
1.7.  Management mode(s) planned11  

 Direct management by the Commission 

–   by its departments, including by its staff in the Union delegations;  

–    by the executive agencies  

 Shared management with the Member States  

 Indirect management by entrusting budget implementation tasks to: 

–   third countries or the bodies they have designated; 

–   international organisations and their agencies (to be specified); 

–  the EIB and the European Investment Fund; 

–   bodies referred to in Articles 208 and 209 of the Financial Regulation; 

–   public law bodies; 

–   bodies governed by private law with a public service mission to the extent that 

they provide adequate financial guarantees; 

–   bodies governed by the private law of a Member State that are entrusted with 
the  implementation  of  a  public-private  partnership  and  that  provide  adequate 
financial guarantees; 

–    persons  entrusted  with  the  implementation  of  specific  actions  in  the  CFSP 

pursuant to Title V of the TEU, and identified in the relevant basic act. 

– 

If more than one management mode is indicated, please provide details in the ‘Comments’ section. 

Comments  

11 

Details  of  management  modes  and  references  to  the  Financial  Regulation  may  be  found  on  the 
BudgWeb site: http://www.cc.cec/budg/man/budgmanag/budgmanag_en.html 

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2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

Specify frequency and conditions. 

Participation  of  US  entities  in  the  Framework  Programme  for  Research  and 
Innovation  and  other  cooperative  activities  under  the  Agreement  will  be  regularly 
followed through meetings of the Joint Consultative Group established under Art. 6 
letter (b) of the Agreement. 

2.2.  Management and control system  

2.2.1.  Risk(s) identified  

Meetings  and  bilateral  contacts  take  place  on  a  regular  basis  allowing  for  the 
systematic  sharing  of  information  and  control.  No  risks  have  been  identified  in  the 
control system. 

2.2.2. 

Information concerning the internal control system set up 

2.2.3.  Estimate of the costs and benefits of the controls and assessment of the expected level 

of risk of error  

2.3.  Measures to prevent fraud and irregularities  

Specify existing or envisaged prevention and protection measures. 

When the implementation of the Framework Programme calls for the use of external 
contractors or entails granting financial contribution to third parties, the Commission 
will  carry  out,  where  appropriate,  financial  audits,  in  particular  if  it  has  reason  to 
doubt the realistic nature of work performed or described in the activity reports. 

The  Union’s  financial  audits  will  be  carried  out  either  by  its  own  staff  or  by 
accounting  experts  approved  according  to  the  law  of  the  audited  party.  The  Union 
will choose the latter freely, while  avoiding any risks of conflicts of interest which 
might be indicated to it by the party subject to the audit. In addition, the Commission 
will make sure, in carrying out the research activities, that the financial interests of 
the Union are protected by effective checks and, where irregularities are detected, by 
deterrent and proportionate measures and penalties. 

In order to achieve this aim, rules on checks, measures and penalties, with reference 
to Regulations No 2988/95, No 2185/96 and No 883/2013 will be incorporated in all 
contracts used in the implementation of the framework programme.  

In particular, the following points will have to be provided for in the contracts: 

- the insertion of specific clauses in the contracts to protect the financial interests of 
the EU in carrying out checks and controls in relation to the work performed;  

-  the  carrying  out  of  administrative  checks  as  part  of  anti-fraud  measures,  in 
accordance with Regulations No 2185/96, No 1073/1999 and No 1074/1999; 

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-  the  application  of  administrative  penalties  for  all  intentional  or  negligent 
irregularities  in  the  implementation  of  the  contracts,  in  accordance  with  the 
Framework Regulation No 2988/95, including a blacklisting mechanism; 

-  the  fact  that  any  recovery  orders  in  the  event  of  irregularities  and  fraud  must  be 
enforceable  according  to  Article  299  of  the  Treaty  on  the  Functioning  of  the 
European Union. 

In  addition  and  as  a  routine  measure,  a  programme  of  checks  on  scientific  and 
budgetary  aspects  of  cooperation  will  be  carried  out  by  the  staff  responsible  in  the 
Directorate – General for Research and Innovation (DG RTD). An internal audit will 
be carried out by the Internal Audit unit of DG RTD, and local inspections will be 
carried out by the European Court of Auditors. 

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3. 

3.1. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

Heading(s)  of  the  multiannual  financial  framework  and  expenditure  budget 
line(s) affected  

  Existing budget lines  

In order of multiannual financial framework headings and budget lines. 

Budget line 

Heading of 
multiannual 
financial 
framework 

Heading 1a – Competitiveness for growth and 
jobs 

Type of  
expenditure 

Diff./Non-
diff.12 

Contribution  

from 
EFTA 
countries
13 

from 
candidate 
countries14 

from third 
countries 

within the 
meaning of 
Article 21(2)(b) of 
the Financial 
Regulation  

1a 

08.01.05 

Non-diff. 

YES 

YES 

NO 

NO 

Heading of 
multiannual 
financial 
framework 

  New budget lines requested  

In order of multiannual financial framework headings and budget lines. 

Budget line 

Type of 
expenditure 

Contribution  

Number  
[Heading……………………………………
…] 

Diff./Non-
diff. 

from 
EFTA 
countries 

from 
candidate 
countries 

from third 
countries 

within the 
meaning of 
Article 21(2)(b) of 
the Financial 
Regulation  

[XX.YY.YY.YY] 

YES/N
O 

YES/NO 

YES/N
O 

YES/NO 

12 
13 
14 

Diff. = Differentiated appropriations / Non-diff. = Non-differentiated appropriations. 
EFTA: European Free Trade Association.  
Candidate countries and, where applicable, potential candidate countries from the Western Balkans. 

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3.2. 

Estimated impact on expenditure  

3.2.1. 

Summary of estimated impact on expenditure  

Heading of multiannual financial  
framework  

1a 

'Competetiveness for growth and jobs'  

EUR million (to three decimal places) 

DG: RTD 

 Operational appropriations  

Number of budget line 

Number of budget line 

Commitments 

Payments 

Commitments 

Payments 

(1) 

(2) 

(1a) 

(2a) 

Appropriations  of  an  administrative  nature  financed  from  the 
envelope of specific programmes16  

Number of budget line 

08.01.05  

(3) 

TOTAL appropriations 
for DG RTD 

Commitments 

Payments 

=1+1a 
+3 

=2+2a 

+3 

Year 
201815 

Year 
2019 

Year 
2020 

Year 
2021 

Year 
2022 

Year 
2023 

TOTAL 

0.024 

0.060 

 0.060 

0.060 

0.060 

0.036 

0.298 

0.024 

0.060 

 0.060 

0.060 

0.060 

0.036 

0.298 

15 
16 

EN 

Year 2018 is the year in which implementation of the proposal/initiative starts. 
Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions (former ‘BA’ lines), indirect research, 
direct research. 

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 TOTAL operational appropriations  

Commitments 

Payments 

  TOTAL  appropriations  of  an  administrative  nature 
financed from the envelope for specific programmes  

(4) 

(5) 

(6) 

0.024 

0.060 

 0.060 

0.060 

0.060 

0.036 

0.298 

TOTAL appropriations  
under HEADING <1a> 
of the multiannual financial framework 

Commitments 

=4+ 6 

0.024 

0.060 

 0.060 

0.060 

0.060 

0.036 

0.298 

Payments 

=5+ 6 

0.024 

0.060 

 0.060 

0.060 

0.060 

0.036 

0.298 

If more than one heading is affected by the proposal / initiative: 

 TOTAL operational appropriations  

Commitments 

Payments 

  TOTAL  appropriations  of  an  administrative  nature 
financed from the envelope for specific programmes  

(4) 

(5) 

(6) 

TOTAL appropriations  
under HEADINGS 1 to 4 
of the multiannual financial framework 
(Reference amount) 

Commitments 

=4+ 6 

Payments 

=5+ 6 

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Heading of multiannual financial  
framework  

5 

‘Administrative expenditure’ 

Year 
2018 

Year 
2019 

Year 
2020 

Year 
2021 

Year 
2022 

Year 
2023 

TOTAL 

EUR million (to three decimal places) 

DG: RTD 

 Human resources  

 Other administrative expenditure  

0.0048 

0.012 

0.012 

TOTAL DG RTD 

Appropriations  

0.0048 

0.012 

0.012 

0.012  0.012 
0.012 

0.012 

0.0072 

0.0072 

TOTAL appropriations 
under HEADING 5 
of the multiannual financial framework  

(Total  commitments  = 
Total payments) 

0.0048 

0.012 

0.012 

0.012 

0.012 

0.0072 

0.060 

0.060 

0.060 

Year 
201817 

Year 
2019 

Year 
2020 

Year 
2021 

Year 
2022 

Year 
2023 

TOTAL 

EUR million (to three decimal places) 

TOTAL appropriations  
under HEADINGS 1 to 5 
of the multiannual financial framework  

Commitments 

0.0286 

0.0715 

0.0715 

0.0715 

0.0715 

0.0429 

Payments 

0.0286 

0.0715 

0.0715 

0.0715 

0.0715 

0.0429 

0.358 

0.358 

17 

Year 2018 is the year in which implementation of the proposal/initiative starts. 

EN 

16 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.2.  Estimated impact on operational appropriations  

–    The proposal/initiative does not require the use of operational appropriations  

–    The proposal/initiative requires the use of operational appropriations, as explained below: 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

OUTPUTS 

Commitment appropriations in EUR million (to three decimal places) 

Enter as many years as necessary to show the 
duration of the impact (see point 1.6) 

TOTAL 

o
N

Cost  N

o

Cost 

o
N

Cost 

o
N

Cost  N

o

Cost  N

o

Cost  N

o

Cost 

Total 
No 

Total 
cost 

Indicate 
objectives and 
outputs  

 

Type18 

Avera
ge 
cost 

SPECIFIC OBJECTIVE No 119… 

- Output 

- Output 

- Output 

Subtotal for specific objective No 1 

SPECIFIC OBJECTIVE No 2 ... 

- Output 

Subtotal for specific objective No 2 

TOTAL COST 

18 
19 

Outputs are products and services to be supplied (e.g.: number of student exchanges financed, number of km of roads built, etc.). 
As described in point 1.4.2. ‘Specific objective(s)…’  

EN 

17 

EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.3.  Estimated impact on appropriations of an administrative nature 

3.2.3.1.  Summary  

–    The  proposal/initiative  does  not  require  the  use  of  appropriations  of  an 

administrative nature  

–    The proposal/initiative requires the use of appropriations of an administrative 

nature, as explained below: 

EUR million (to three decimal places) 

Year 
201820 

Year 
2019 

Year 
2020 

Year 
2021 

Year 
2022 

Year 
2023 

TOTAL 

HEADING 5 
of the multiannual 
financial framework 

Human resources  

Other administrative 
expenditure  

Subtotal HEADING 5 
of the multiannual 
financial framework  

Outside HEADING 521 
of the multiannual 
financial framework  

0.0048 

0.012 

0.012 

0.012 

0.0048 

0.012 

0.012 

0.012 

0.012 

0.0072 

0.012 

0.0072 

0.060 

0.060 

Human resources  

0.024 

0.060 

 0.060 

0.060 

0.060 

0.036 

0.298 

Other expenditure  
of an administrative 
nature 

Subtotal  
outside HEADING 5 
of the multiannual 
financial framework  

0.024 

0.060 

 0.060 

0.060 

0.060 

0.036 

0.298 

TOTAL 

0.0286 

0.0715 

0.0715 

0.0715 

0.0715 

0.0429 

0.358 

The  appropriations  required  for  human  resources  and  other  expenditure  of  an  administrative  nature  will  be  met  by 
appropriations from the DG that are already assigned to management of the action and/or have been redeployed within the 
DG,  together  if  necessary  with  any  additional  allocation  which  may  be  granted  to  the  managing  DG  under  the  annual 
constraints.
allocation 

procedure 

budgetary 

light 

and 

the 

of 

in 

20 
21 

Year 2018 is the year in which implementation of the proposal/initiative starts. 
Technical  and/or  administrative  assistance  and  expenditure  in  support  of  the  implementation  of 
EU programmes and/or actions (former ‘BA’ lines), indirect research, direct research. 

EN 

18 

  EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.3.2.  Estimated requirements of human resources 

–    The proposal/initiative does not require the use of human resources.  

–    The  proposal/initiative  requires  the  use  of  human  resources,  as  explained 

below: 

Estimate to be expressed in full time equivalent units 

Year 
2018 

Year 
2019 

Year 
2020 

Year 
2021 

Year 

2022 

Year 

2023 

 Establishment plan posts (officials and temporary staff) 

XX 01 01 01 (Headquarters and Commission’s 
Representation Offices) 

XX 01 01 02 (Delegations) 

08 01 05 01 (Indirect research) 

0.2 

0.5 

0.5 

0.5 

0.5 

0.3 

10 01 05 01 (Direct research) 

 External staff (in Full Time Equivalent unit: FTE)22 

XX 01 02 01 (AC, END, INT from the ‘global 
envelope’) 

XX 01 02 02 (AC, AL, END, INT and JED in the 
delegations) 

XX 01 04 yy 23 

- at Headquarters 

- in Delegations  

XX 01 05 02 (AC, END, INT – Indirect research) 

10 01 05 02 (AC, END, INT – Direct research) 

Other budget lines (specify) 

TOTAL 

0.2 

0.5 

0.5 

0.5 

0.5 

0.3 

XX is the policy area or budget title concerned. 

The human resources required will be met by staff from the DG who are already assigned to management of the 
action  and/or  have  been  redeployed  within  the  DG,  together  if  necessary  with  any  additional  allocation  which 
may  be  granted  to  the  managing  DG  under  the  annual  allocation  procedure  and  in  the  light  of  budgetary 
constraints. 

Description of tasks to be carried out: 

Officials and temporary staff 

External staff 

Preparation and management of meetings of the Joint Consultative Group established 
under  Art.  6(b)  of  the  Agreement,  as  well  as  follow  –up  of  the  functioning  and 
implementation of the Agreement. 

Calculations are done proportionally considering the duration of the Agreement. 

22 

23 

AC=  Contract  Staff;  AL  =  Local  Staff;  END=  Seconded  National  Expert;  INT  =  agency  staff; 
JED= Junior Experts in Delegations.  
Sub-ceiling for external staff covered by operational appropriations (former ‘BA’ lines). 

EN 

19 

  EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.4.  Compatibility with the current multiannual financial framework  

–    The  proposal/initiative  is  compatible  the  current  multiannual  financial 

framework. 

–    The proposal/initiative will entail reprogramming of the relevant heading in the 

multiannual financial framework. 

Explain what reprogramming is required, specifying the budget lines concerned and the corresponding 
amounts. 

–    The  proposal/initiative  requires  application  of  the  flexibility  instrument  or 

revision of the multiannual financial framework. 

Explain what is required, specifying the headings and budget lines concerned and the corresponding 
amounts. 

3.2.5.  Third-party contributions  

–   The proposal/initiative does not provide for co-financing by third parties.  

–  The proposal/initiative provides for the co-financing estimated below: 

Appropriations in EUR million (to three decimal places) 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

Enter as many years as necessary 
to show the duration of the 
impact (see point 1.6) 

Total 

Specify  the  co-financing 
body  

TOTAL appropriations 
co-financed  

EN 

20 

  EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
3.3. 

Estimated impact on revenue  

–    The proposal/initiative has no financial impact on revenue. 

–    The proposal/initiative has the following financial impact: 

– 

– 

 

 

on own resources  

on miscellaneous revenue  

Appropriation
s available for 
the current 
financial year 

Budget revenue line: 

Article …………. 

EUR million (to three decimal places) 

Impact of the proposal/initiative24 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

Enter as many years as necessary to show 
the duration of the impact (see point 1.6) 

For miscellaneous ‘assigned’ revenue, specify the budget expenditure line(s) affected. 

Specify the method for calculating the impact on revenue. 

24 

As regards traditional own resources (customs duties, sugar levies), the amounts indicated must be net 
amounts, i.e. gross amounts after deduction of 25 % for collection costs. 

EN 

21 

  EN